Award NASD Dispute Resolution In the Matter of the Arbitration Between: Kay Barr Keran, Individually and as Trustee of the Lane E. Keran & Kay Barr Keran Family Trust UTD 9-27-95, Claimants v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Carolyn Colvin, Respondents Case Number: 03-01161 Hearing Site: San Francisco, California Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: David Hollander

Award NASD Dispute Resolution In the Matter of the Arbitration Between: William S. Mednick, Individually and on behalf of the William S. Mednick GTC IRA, Judith A. Mednick, Individually and on behalf of the Judith A. Mednick GTC IRA, Richard Daniels, and Suzan Medrano Daniels, Claimants v. Cruttenden Roth Incorporated n/k/a Roth Capital Partners, LLC, Hagerty Stewart & Associates, LLC, The Seidler Companies Incorporated, and John A. Rosenthal, Respondents

Stipulated Award £ Q P Y NASD Dispute Resolution In the Matter of the Arbitration Between: Fredrick Ashouri and Elfriede Ashouri, Claimants v. Merrill Lynch, Pierce, Fenner and Smith, Inc. and Thomas S. Lowey, Respondents Case Number: 03-01159 Hearing Site: San Francisco, California Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: Stephan C. Williams, Esq. Law Offices of Stephan C. Williams

In the Matter of the Arbitration Between: Name of Claimant Case Number: 03-01156 Raymond James & Associates, Inc. Names of Respondents Hearing Site: Memphis, TN Morgan Stanley DW Inc. Joseph Sharpe REPRESENTATION OF PARTIES For Raymond James & Associates, Inc. ("RJA"), hereinafter referred to as "Claimant": Shepherd D. Tate, Esq., Tate, Lazarini & Beall, PLC, Memphis, TN. For Respondent Morgan Stanley DW Inc. ("MSDW"): Brett D. Sherman, Vice Preside

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Harold Hahn (Claimant) v. Merrill Lynch, Pierce, Fenner & Smith Incorporated, Scott Erickson and Peter Meme (Respondents) Case Number: 03-01151 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Harold Hahn ("Claimant"): Douglas S. Knehr, Esq., Douglas S. Knehr, LLC, Lawrenceville, NJ.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Clinton Rubin and Jennifer Sigler (Claimants) v. Donald & Co. Securities, J.P. Turner & Co., LLC, and Jeff Bassin (Respondents) Case Number: 03-01148 Hearing Site: New York, New York Nature of the Dispute: Customers v. Members and Associated Person. REPRESENTATION OF PARTIES Claimants Clinton Rubin ("Rubin") and Jennifer Sigler ("Sigler") hereinafter collectively referred to as

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-01146 Stella W. Woo, Claimant v. Gilbert M. Gonzales and Cal Fed Bank, Respondents. ATTORNEYS: Claimant, Stella W. Woo, ("Claimant"), appeared through her daughter, Christina A. Woo, Los Angeles, CA. Respondents, (collectively "Respondents"): Respondent Gilbert M. Gonzales, ("Gonzales"), appeared through his in-house counsel, Jennifer Sendor of Citicorp Investment Services, Long Island C

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Cosimo Venneri, (Claimant) vs. Spencer-Winston Securities Corporation, Jason Weisz, and Oscar Echman, (Respondents) Case Number: 00-04432 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Cosimo Venneri, hereinafter referred to as "Claimant": Joseph F. Keenan, Esq., McCanliss & Early, LLP, New York, NY. Previously represented by: Mary C. Freeze, Esq., a

••f t Award NASD Dispute Resolution In the Matter of the Arbitration Between: Chandra G. Muni ERA (Claimant) v. Prudential Securities, Inc. n/k/a Prudential Equity Group, Inc. and Vincent Petrucelli (Respondents) Case Number: 03-01144 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Chandra G. Muni ERA ("Muni") hereinafter referred to as "Claimant": Ralph A.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ian Woolsey (Claimant) v. C.B. Hill & Associates, Michael Salvatore Buccellato, Mark Allen a/k/a Mark Allen Lefkowitz, Samuel Sherr, Wise A. Skillman HI, Stonehenge Partners, LLC, and CIBC Oppenheimer n/k/a CIBC World Markets Corp. (Respondents) Case Number: 03-01143 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Members, Non-Member, and Associated Persons REPR